Faculty/Author Profile

Joanne C. Rutkowski

U.S. Securities and Exchange Commission

Branch Chief, Office of Chief Counsel, Division of Trading and Markets

Washington, DC, USA

Biography
Associated Items

JOANNE RUTKOWSKI is a Branch Chief in the Office of Chief Counsel of the Division of Trading and Markets (formerly the Division of Market Regulation) at the U.S. Securities and Exchange Commission. In this capacity, Ms. Rutkowski works on public policy and regulatory issues related to broker-dealers. She also has worked extensively on issues related to the implementation of business conduct standards for security-based swap dealers and major security-based swap participants under Title VII of Dodd-Frank, as well as crowdfunding initiatives under the JOBS Act. Prior to rejoining the Commission, she worked in both the public and private sectors, most recently as a partner in the Washington, D.C. office of Baker Botts LLP. Ms. Rutkowski received her J.D. from Harvard University, and her B.S. in Mathematics from Albright College.

Joanne C. Rutkowski is associated with the following items:
Web Segment	Overview of Program: Who is a Broker-Dealer? - Fundamentals of Broker-Dealer Regulation 2012 , Tuesday, July 03, 2012
On-Demand Web Programs	Fundamentals of Broker-Dealer Regulation 2012 , Monday, July 09, 2012 , New York, NY
Audio CD	Fundamentals of Broker-Dealer Regulation 2012 , Monday, July 23, 2012 , New York, NY
DVD Video	Fundamentals of Broker-Dealer Regulation 2012 , Monday, August 06, 2012 , New York, NY
Live Seminar	Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , New York, NY Fundamentals of Broker-Dealer Regulation 2012 , Monday, June 25, 2012 , New York, NY
Live Webcast	Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , New York, NY
PLI Grpcast-Live Web	Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Boston, MA Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Philadelphia, PA Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Mechanicsburg, PA Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , New Brunswick , NJ Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Birmingham, AL Fundamentals of Broker-Dealer Regulation 2013 , Monday, June 24, 2013 , Pittsburgh, PA

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Faculty/Author Profile

Joanne C. Rutkowski

U.S. Securities and Exchange Commission

Branch Chief, Office of Chief Counsel, Division of Trading and Markets

Washington, DC, USA


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